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Cetera Consolidates Two RIAs

Cetera Investment Advisers will become the primary RIA for “legacy Cetera communities."

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Is a CID or Government Subpoena a Claim? | Foley Hoag LLP

For many companies, particularly those in highly regulated industries, the receipt of a civil investigative demand (CID) or subpoena from the government can understandably trigger.

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Former Centaurus Broker Recommended More Costly UITs, REITs to Clients

FINRA settled charges with Centaurus Financial and a former broker, alleging the broker recommended UITs and REITs when more affordable options were available.

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Cetera Shutters First Allied Registration, Brand

First Allied, the San Diego-based independent broker/dealer that's been in business since 1994, has been integrated into Cetera Advisors.

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Lamborghini-driving financial advisor sentenced to 13-plus years for fraud liked the finer things in life

Lamborghini-driving financial advisor sentenced to 13-plus years for fraud liked the finer things in life
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